Export Control

The University of Illinois Springfield is committed to advancing knowledge through open research in which all methodologies, data, and research results are freely shared with the public. Balanced against this commitment is a responsibility to protect the national security and economic interests of the United States, which can be achieved in part by establishing mechanisms for complying with export controls.

In this context, “exports” refer both to shipments of tangible commodities and software to recipients outside the United States, as well as to disclosures of certain kinds of information to foreign persons wherever located, including faculty, staff, and students in the United States. The term “export controls” refers to the federal laws and regulations that deal with the distribution of strategically important technology and information to, and certain financial transactions with, foreign persons in the United States and persons and entities in foreign countries.

Federal export control laws impact many activities on campus, including research, purchasing equipment and materials, international travel, hiring, and collaborations with colleagues in other countries. Export control laws may require obtaining special approval from the government prior to engaging in these activities, and may in some cases prohibit certain activities altogether.

U.S. export and trade regulations impose controls over numerous university activities, including the performance of certain research. The consequences of violating the regulations are potentially extremely severe, and can be extended to the involved individuals as well as to the university. All export control license applications are coordinated through the Office of Research and Sponsored Programs (ORSP) and the Office of University Counsel.

Export Control

Background

U.S. export control laws and regulations protect and promote the national security, foreign policy, and economic interests of the United States. The federal government restricts the export of certain items or information through regulations that either prohibit, or require licensing prior to, the export of such items.

An export may occur through either the actual shipment or transmission of certain items or information outside of the United States through various means or through the release of certain items or information to a Foreign Person within the United States. Violation of export control regulations could result in criminal and civil penalties, including significant monetary penalties, imprisonment, debarment and suspension, and the loss of exporting privileges.

Key Concepts

Academic Freedom

One of the underlying principles in conducting research at the University of Illinois Springfield (UIS) is academic freedom. Relative to export control regulations, this means that research activities should be undertaken freely and openly with no restrictions on the dissemination of research results or access to research results by Foreign Persons. By adhering to this principle, UIS is able to operate under the Fundamental Research Exclusion (FRE), which largely limits the impact of the export control regulations on UIS’s research activities. The FRE allows UIS to conduct its research without having to obtain licenses before sharing information with Foreign Persons. This exclusion, however, does not apply in all circumstances. In the absence of this exclusion or any other available exception, exemption or exclusion in the export control regulations, UIS must obtain the appropriate license or approval, if necessary, before engaging in any exporting.

In furtherance of the principle of academic freedom, UIS does not enter into agreements with sponsors which grant sponsors permanent, exclusive benefits of research results. The original records of research projects are held by UIS, but reports or copies of such records may be furnished to the sponsor. UIS retains for its academic staff members in all such projects the right to publish, at their discretion, the results of scientific investigation and research.

Fundamental Research Exclusion (FRE)

Under the FRE, UIS operates within a safe harbor that largely excludes the University from the export control regulations as they relate to university research. Both the Export Administration Regulations (EAR) administered by the U.S. Department of Commerce and the International Traffic in Arms Regulations (ITAR) administered by the U.S. Department of State define “university” as “any accredited institution of higher education located in the United States,” with the EAR further referencing “University based research.” This exclusion requires that research be conducted freely and openly, with no restrictions upon access to the underlying research by Foreign Persons. In the absence of the FRE, UIS would be required to obtain licenses and/or restrict the involvement of certain Foreign Persons from research. Thus, the protection of the FRE is critical to UIS’s ability to conduct research in an open environment consistent with the principle of academic freedom.

Codified in both the EAR and the ITAR, the FRE provides a safe harbor for institutions, including UIS, who are engaged in the conduct of Fundamental Research. The FRE will not apply to research if UIS (a) accepts restrictions on publication other than a temporary delay to ensure the appropriate safeguarding of proprietary information and patent rights; or (b) accepts restrictions on the participation of Foreign Persons in the research. Additionally, any arrangements between a researcher and outside sponsors that act contrary to the principles of openness in research could make the FRE inapplicable to the research.

Openness in Research

UIS is committed to freedom of access by all interested persons to the underlying data, processes, and final results of research through the publication and broad dissemination of those results.

Activities Beyond the Scope of the FRE

While the FRE provides UIS with a safe harbor in which to conduct its research, it does not cover all activities at the University. For instance, the shipment of physical items beyond the borders of the United States is not covered by the FRE. Any items that come into the possession of UIS which are protected under a proprietary information or non-disclosure agreement, including material transfer agreements, are not covered by the FRE. Also, any activity involving a restricted party or an embargoed country must be reviewed to ensure that it is appropriate under the law. To ensure that any activities falling outside the scope of the FRE are given proper attention, UIS faculty and staff should engage the Office of the Vice Chancellor for Research (ORSP) Export Controls Compliance Office to review any issues which may be subject to the export control regulations.

Additional Exclusions from the Export Control Regulations

Public Information Exception. The EAR (at 15 C.F.R. 734.7) and ITAR (at 22 C.F.R. 120.11) specifically exclude “publicly available technology and software” (EAR) and “information in the public domain” (ITAR) from those export control regulations. These regulatory provisions provide a further safe harbor for activities at UIS related to information that has been published or resides in the public domain.
Educational Information Exclusion. The EAR (at 15 C.F.R. 734.9) and ITAR (at 22 C.F.R. 120.10(a)(5)) each contain an educational information exclusion, which states that the export control regulations do not apply to: (a) “educational information released by instruction in catalog courses and associated teaching laboratories” (EAR) nor to “information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities” (ITAR). These regulatory provisions mitigate concerns about export control violations occurring in the physical classroom setting. These exclusions provide a safe harbor for UIS in teaching its students, both through physical classroom activities and through research. Additional analysis is required in the distance learning context.

Deemed Exports

In the university setting, an export can occur on campus and wholly within the United States, under the Deemed Export rule. This rule holds that the release of controlled technology or technical data to Foreign Persons in the United States is “deemed” to be an export to that Foreign Person’s country or countries of nationality. Deemed Exports may be undertaken only within an appropriate exemption, exclusion (including the aforementioned FRE), or license issued by the federal government.

Procedures

ORSP Responsibilities

The ORSP is responsible for implementing policies and procedures in compliance with the laws and regulations governing export controls. ORSP’s the Export Controls Compliance Officer is the primary point of contact (at UISexport@UIS.edu) for the review of all issues related to export controls at UIS, including those raised in agreements with external parties. The Export Controls Compliance Officer is responsible for:

Educating the UIS research community regarding its obligations under the law;
Identifying high risk research areas that are impacted by export control regulations;
Monitoring and interpreting developments in the export control regulations field;
Interacting with regulating agencies to maintain an open dialogue regarding the applicability of the export control regulations in the university setting;
Engaging with other UIS offices, as appropriate, to ensure that often complex regulations are properly reviewed and that perspectives are shared;
Creating and implementing Technology Control Plans (TCPs), with the assistance of researchers and administrative staff, to ensure compliance with export control regulations;
Applying for export control licenses, when necessary, in coordination with the Office of University Counsel;
Ensuring that appropriate records are kept, and that periodic audits are conducted to monitor export controlled activities at UIS; and,
Creating and maintaining an export controls website.

Other UIS Units Involved in Export Control Compliance

While ORSP’s Export Controls Compliance Officer should be engaged whenever there is any question regarding the applicability of export control regulations, various other offices within UIS may be affected by or otherwise involved in export controls compliance. These offices include the Office of University Counsel, the Office of Sponsored Research, the Office of International Affairs, the Office for International Services, Purchasing, Grants & Contracts, Business Development Services, the Environmental Health and Safety Office, Human Resources, the Study Abroad Office, the Office of Technology Management, the Academic Computing and Communications Center, and others. Each of these offices is directly (or indirectly) affected by the export control regulations, and ORSP’s Export Controls Compliance Officer will work closely with these offices to facilitate compliance with the regulations.

Acceptance of Export-Controlled Items and Information

UIS generally does not accept any export-controlled items or information without having first been informed and having granted written authorization. The acceptance of export-controlled items and/or information necessitates obtaining licenses and/or implementing other practices and procedures to ensure that such items and/or information are appropriately protected. In addition to determining whether such items and/or information can be shared with Foreign Persons, UIS would be required to safeguard the items and/or information to prevent any inadvertent disclosures. By requiring notice and written agreement, UIS is engaging in due diligence to maintain compliance with the export control regulations. These processes can be time-consuming and potentially costly, so the earlier these issues are identified, the better-equipped UIS is to manage the situation.

When it is necessary to accept export-controlled items and/or information, ORSP’s Export Controls Compliance Officer will implement a TCP to ensure compliance with the export control regulations. The TCP will demonstrate a commitment to export controls compliance, will identify applicable export controlled items and/or information subject to the export controls, and will outline the security measures to be taken to ensure compliance.

These measures might include: laboratory compartmentalization, written marking of export controlled items, secure areas, password-protected information, confidential communications, and/or other appropriate measures. The TCP will also identify by nationality each participant in the research who will potentially have access to the export controlled item and/or information, and will provide for appropriate screening of all such participants.

The TCP that must be signed by the responsible Principal Investigator, the appropriate Dean, and the Department Chair. Any individual having access to items and/or information under a TCP must be informed of the elements of the TCP and must acknowledge acceptance of and compliance with those terms in writing.

I-129 Certifications

The federal government, through the Department of Homeland Security, requires that certain petitions filed by employers on behalf of Foreign Persons must be accompanied by a certification indicating that: (a) an export license is not required from either the U.S. Department of Commerce and/or the U.S. Department of State to release any technology or technical data to the Foreign Person; or (b) a license is required from the U.S. Department of Commerce and/or the U.S. Department of State to release such technology or technical data to the Foreign Person and the petitioner will prevent access to the controlled technology or technical data by the Foreign Person unless and until the employer has received the required license or other authorization to release the technology or technical data.

Typically, UIS can provide this certification with the understanding that no controlled technology or technical data will be shared with any Foreign Persons, either due to an appropriate exclusion which removes such technology or technical information from the export control regulations (such as the FRE), or because UIS has appropriately vetted all such technology and/or data, and has ensured, through contract or otherwise, that no such controlled technology or data is present at UIS. To the extent that any controlled technology or data may come to exist at UIS, the appropriate party must engage ORSP’s Export Controls Compliance Officer and the Office for International Services to ensure an appropriate review is undertaken.

Obtaining Licenses for Exports

Typically, as outlined above under the FRE and other exclusions, UIS is not required to pursue licenses to undertake the majority of its activities at the University. However, as circumstances warrant, ORSP’s Export Controls Compliance Officer will work with the Office of University Counsel and the appropriate federal agency to secure licenses for export controls compliance. Most commonly, a license might be required for the physical shipment of items overseas. In that event, it is expected that the requesting party will notify ORSP’s Export Controls Compliance Officer of the need to ship potentially controlled items overseas, and will work with the Export Controls Compliance Officer to properly identify those items and determine whether or not a license is required.

The license process can take several weeks or months, so ORSP’s Export Controls Compliance Officer should be engaged as soon as possible to ensure that the licensing process does not unduly interfere with the work. For example, if it is recognized during a grant proposal that there may be export controlled materials required as deliverables under the agreement, then the Export Controls Compliance Officer should be engaged at the time of proposal to ensure that a timely license application can be made.

International Travel

Traveling abroad may trigger export control considerations or implicate U.S. trade and economic sanctions. How these laws and regulations apply depends upon the international destination(s), the non-U.S. persons and/or entities involved, and what items and information are being taken out of the United States. These factors must be assessed for every international trip to determine if an export license is required to support the travel. Although most international travel will not require an export license, due diligence is still required to identify the travel that will require a license.

Travel to Sanctioned Countries

The Office of Foreign Assets Control (OFAC) administers and enforces U.S. trade and economic sanctions. OFAC’s website identifies the countries subject to sanctions. Individuals intending to travel to a sanctioned country should contact the ORSP’s Export Controls Compliance Officer and the Office of University Counsel for guidance early in the travel planning process to determine if an export license is required to support the travel.

In particular, Cuba, Iran, Sudan, Syria and North Korea are subject to comprehensive sanctions. Even attending a conference in one of these countries without a license could be an export violation, so members of the UIS community should contact the ORSP’s Export Controls Compliance Officer and the Office of University Counsel before arranging travel to these destinations.

Non-U.S. Persons and Entities

OFAC enforces trade and economic sanctions against certain individuals and entities from targeted countries or who are involved in terrorism or narcotics trafficking. To confirm Foreign Persons, entities or institutions abroad are not subject to U.S. sanctions, contact the UIS Office of International Affairs before presenting work or collaborating with colleagues overseas, or considering a relationship with a counterpart institution in another country.

Taking Non-Personal Items and/or Information Out of the United States

Before taking any non-personal items, equipment, research or technology out of the United States, confirm that they are not subject to U.S. export controls. If they are, a license may be required. When traveling with a laptop, smart phone, GPS-enabled device, or similar technology that may contain encryption or other sensitive software, remember:

The items must be something used in support of work (i.e., a tool of the trade);
Do not take the items to embargoed countries (i.e., Cuba, Iran, Syria, Sudan and North Korea);
Keep the items under your personal, physical control at all times; and
Bring the items back to the U.S within 12 months.

Reporting

In order to ensure compliance, and to provide the UIS community with the opportunity to report any suspected incidents of non-compliance, ORSP suggests that any reports or concerns be communicated by either e-mail to UISexport@UIS.edu or telephone 312-413-8191. Reports can also be made to the Ethics Line at 866-758-2146 or by e-mail to ethicsofficer@uillinois.edu.

Consequences for Non-Compliance

Failure to comply with the various export control regulations can result in both criminal and civil penalties. Under the EAR regulations, criminal penalties can involve imprisonment and significant monetary penalties up to $1 million per violation, while civil penalties are also substantial. Additionally, the loss of export privileges – including the FRE – may result, which could substantially curtail UIS’s ability to conduct research with its international student population, and international collaborators, as UIS would be required to obtain licenses before sharing certain items or information with any Foreign Person. Any violation of this policy may result in disciplinary action, up to and including termination of employment and academic dismissal.

Training

Information on export controls is available on the ORSP Export Controls webpage.

Forms

Sample Technology Control Plan (TCP)

Links to Additional Resources

Definitions

Classified Research: Any research that carries a security classification under U.S. law.

Commerce Control List (CCL): A list of Dual-Use Items under the specific jurisdiction of the U.S. Department of Commerce, subject to regulation under the Export Administration Regulations.

Deemed Export: The release of technology or software controlled under the Export Administration Regulations or the International Traffic in Arms Regulations to a Foreign Person within the United States.

Dual-Use Items: Items controlled under the Export Administration Regulations that can be used both in military and civilian applications.

Export Administration Regulations (EAR): Policies and regulations issued by the U.S. Department of Commerce’s Bureau of Industry and Security (BIS), which govern Dual-Use Items.

Export: An actual shipment or transmission of items subject to export controls out of the United States.

Foreign Person: Any person or entity who does not fall into one of the following categories:

U.S. citizens;
Lawful permanent residents of the United States (i.e. “green card holder”);
Refugees, asylees, and similarly protected individuals as defined by 8 U.S.C. 1324b(a)(3);
Entities of the U.S. government, including both state and federal agencies; or
Corporations, business associations, and other organizations incorporated or otherwise authorized to do business in the United States.
Fundamental Research: Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

Fundamental Research Exclusion (FRE): Policy established under National Security Decision Directive 189, issued in 1985, which states that the products of Fundamental Research are excluded from the export control regulations.

International Traffic in Arms Regulations (ITAR): Regulations issued by the U.S. Department of State’s Directorate of Defense Trade Controls (DDTC), which control the export and import of defense articles and defense services.

Office of Foreign Assets Control (OFAC): A division of the U.S. Department of Treasury, which administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.

Restricted Party Lists: A series of lists published by the U.S. Departments of Commerce, Treasury, and State as well as the General Services Administration, which identify the names of companies and individuals subject to U.S. trade and economic sanctions. These lists include the Denied Persons List, the Unverified List, the Entity List, the Specially Designated Nationals List, the Debarred List, and the Excluded Parties List.

Restricted Research: Restricted Research is any research subject to U.S. export controls, including research for which a sponsor limits free access to, participation in, or dissemination of, the work or the results. Restricted Research includes, but is not limited to: 1) unclassified research that a government agency labels “sensitive,” “non-releasable unclassified,” or other similar designation; 2) research for which the sponsor requires a delay in submission of the result for publication in excess of six months from submission of the final report, or requires advance unconditional approval of the manuscript; 3) research under which a student’s right to publish a thesis or dissertation is delayed more than six months, or a student’s right to future use of acquired skills or knowledge is abridged; or 4) research under which a post-doctoral employee’s right to publish a manuscript or other scholarly work is delayed more than six months, or such employee’s right to future use of acquired skills or knowledge is abridged.

Technology Control Plan (TCP): An internal written document that provides for the policies and procedures to be used to protect potentially controlled, sensitive, or proprietary information at UIS.

U.S. Munitions List (USML): A list of articles, technical data, and defense services which are designated as defense- and space-related by the U.S. government and thus subject to the ITAR.

Export controls may sometimes affect university activities in unexpected ways. For example, research involving attenuated select agents may require additional security procedures beyond a biosafety protocol, and foreign persons may be restricted from accessing certain licensed software or experimental data, even if used for fundamental research. We must therefore consider the application of export controls to research projects and other activities on a case-by-case basis.

Data and other information resulting from university-based research and other academic activities are often exempt from these licensing rules as the results of “fundamental research” – that is, research that is conducted openly and without restrictions regarding participation or dissemination. However, this exemption applies only to the results of research, not to any controlled materials that may be used to conduct research. This means that even research conducted openly and with the intent to share the resulting information broadly may sometimes still be subject to export controls. Other license exemptions may also apply in limited circumstances.

Do you travel overseas to:

  • Attend conferences
  • Present papers
  • Conduct research or do other University of Illinois business?
  • Do you help make arrangements for university employees who do any of the above?

If so, we’ve got a supplemental resource page that can be printed or saved as a guide. The resource page highlights key points and provides points of contact and links to federal resources and your university’s policies so you can get your questions answered.

Because some of your work could involve sensitive export-controlled technologies, you must ensure that you carefully control access to those technologies as required by U.S. export control laws and regulations. Violations carry the possibility of significant fines, criminal sanctions, and reputational damage.

Key point: You don’t have to send something outside the U.S. to have an export. Allowing international students and scholars to have access to controlled items or technology in your labs in Illinois can constitute a “deemed” export, triggering U.S. export control regulations.

If any of the following describe your research, then you must make sure you have considered access limitations for your lab, including your research data, equipment, software and materials.

If your research sponsor limits participation by foreign persons or limits publication of research results, then your research is likely controlled by U.S. export control regulations and you should contact the Export Controls Compliance Officer to discuss possible access restrictions.

Even if your research is not subject to export controls because it is fundamental research, if you purchase, develop or acquire sensitive equipment, materials, or software to use in your labs to conduct your research (e.g., lasers, encryption software, GPS devices), then you need to consult with ORSP to determine what, if any, access controls are appropriate for your research/lab.

Even if you will not employ international students or scholars in your lab, if your research involves collaboration with international colleagues, whether they are located in the U.S. or abroad, you must make sure you understand what, if any, export control restrictions might apply to your work.

If you are employing international students or scholars in your labs, you must certify through the Office of International Services to the U.S. Citizenship and Immigration Services that you are in compliance with U.S. Export Control Regulations.

When you sign this certification, you are attesting to one of the following:

Either an export license issued by the U.S. State Department or the U.S. Department of Commerce is not required to release export controlled technology or technical data to the international student or scholar;

Or an export license is required to release such export controlled technology or technical data to the international student or scholar and that you will prevent access to the controlled technology or technical data by the individual until and unless the University has received the required license.

Although you make this certification at the time of hire, you have a continuing obligation to make sure that international students and scholars do not have access to export controlled research, equipment, technology or software throughout the course of your research.

If you have any questions about whether access restrictions should apply to your research and/or your lab, contact the ORSP at ora@uis.edu

Because violations of export controls, including inadvertent failures to comply, may result in severe criminal and civil penalties both for individual faculty, staff, and students, as well as for the University of Illinois Springfield as an institution, export compliance is the shared responsibility of all members of the university community. While we are committed to openness in research and in the classroom, it may from time to time be necessary to restrict certain individuals’ ability to conduct, access the results of, or otherwise participate in certain research projects and other university activities.

The Export Administration Regulations (EAR)

Criminal Sanctions:

Willful Violations:

University – A fine of up to the greater of $1,000,000 or five times the value of the exports for each violation;

Individual – A fine of up to $250,000 or imprisonment for up to ten years, or both, for each violation.

Knowing Violations:

University – A fine of up to the greater of $50,000 or five times the value of the exports for each violation;

Individual – A fine of up to the greater of $50,000 or five times the value of the exports or imprisonment for up to five years, or both, for each violation.

Civil (Administrative) Sanctions:

The imposition of a fine of up to $12,000 for each violation, except that the fine for violations involving items controlled for national security reasons is up to $120,000 for each violation.

Additionally, for each violation of the EAR any or all of the following may be imposed:

The denial of export privileges; and/or

The exclusion from practice; and/or

Seizure/Forfeiture of goods.

The International Emergency Economic Powers Act (IEEPA)

NOTE: Penalties associated with violations of the Export Administration Regulations presently fall under the purview of IEEPA, pending reauthorization of the Export Administration Act (EAA). IEEPA sanctions are as follows:

Criminal Sanctions:

University – A fine of up to $1,000,000 for each violation;

Individual – A fine of up to $1,000,000 or imprisonment for up to twenty years, or both, for each violation.

Civil (Administrative) Sanctions:

University – A fine of up to $250,000 for each violation, or twice the value of the transaction, whichever is greater;

Individual – A fine of up to $250,000 for each violation, or twice the value of the transaction, whichever is greater.

Additionally, for each violation of the IEEPA any or all of the following may be imposed:

The denial of export privileges; and/or

The exclusion from practice; and/or

Seizure/Forfeiture of goods.

The International Traffic in Arms Regulations (ITAR)

Criminal Sanctions:

University – A fine of up to $1,000,000 for each violation;

Individual – A fine of up to $1,000,000 or up to ten years in prison, or both, for each violation.

Civil Sanctions:

University – A fine of up to $500,000 for each violation;

Individual – A fine of up to $500,000 for each violation.

Additionally, for any violation of the ITAR either or
both of the following may be imposed:

The denial of export privileges; and/or

Seizure/Forfeiture of goods.

If you suspect that a violation has occurred, you should report the suspected violation directly to ORSP via email: ora@uis.edu

What are export controls?

Export controls are federal laws and regulations that govern exports of certain commodities, technologies, services, and money to foreign countries. Export controls also regulate disclosures of certain kinds of information—including research data—to non-U.S. persons and entities (referred to collectively as foreign persons). Some exports and disclosures require special permission (usually in the form of a license) from a federal agency.

There are three primary sources of regulations that govern exports of different kinds of commodities and information:

  • The International Traffic in Arms Regulations (ITAR)govern exports of military technologies. The technologies controlled by the ITAR are found on the United States Munitions List. The ITAR also controls information required for the development or operation of military technologies. Technologies controlled by the ITAR are the most sensitive and therefore the most tightly controlled. Every export of an ITAR-controlled item requires permission from the State Department.
  • The Export Administration Regulations (EAR)control exports of “dual-use” items and technologies. Dual-use items are items that have primarily civilian or commercial applications, but can be adapted for military use. Dual-use items can be found on the Commerce Control List. EAR-controlled items are less sensitive than ITAR-controlled items, so not all exports require a license. Rather, the Commerce Departments licensing requirements are based on the nature of the item, the destination country, the recipient, and the recipient’s intended use of the item.
  • The Foreign Assets Control Regulations(also known as the Office of Foreign Assets Control or OFAC Regulations) control exports, travel, and financial transactions involving embargoed countries. Many transactions, including research and teaching collaborations, require special permission from OFAC. The terms of these embargoes differ by country, but you should exercise caution when considering travel to or collaborating with someone in Cuba, Iran, North Korea, the Republic of Sudan (also called North Sudan), or Syria, as an export license is generally required just to present material at a conference in one of these countries.

There are additional rules related to exports of technologies in more specialized areas. If your research involves nuclear energy, pharmaceuticals, or collaborations with foreign militaries, please contact ora@uis.edu for further guidance on these topics.

What is an export?

Exports include shipments of tangible items, including carrying items in luggage, and transmissions of information to a destination outside the United States. The United States includes the 50 states, the District of Columbia, and other U.S. territories (like Puerto Rico and Guam). The United States does not include U.S. military bases or embassies in other countries: shipments or transmissions to these destinations are exports.

Some exports (depending on the item being exported) require special permission from the government in the form of an export license. Many other exports do not (depending on the country an item is being exported to). Certain kinds of exports may also qualify for license exemptions. For example, some exports where the item will be returned to the United States within six months, or where the item will be completely used up shortly after the export takes place, may not require a license. Contact ora@uis.edu to determine whether you qualify for a license exemption.

Certain transmissions or releases of information in intangible formats are also deemed to be exports. There is more information on deemed exports below.

What is a deemed export?

Transmissions or releases of information or software to anyone who is not a U.S. citizen or permanent resident are “deemed” to be exports of that information to that person’s country of citizenship. A deemed export can occur anywhere in the world, including inside the United States, and can occur in any format.

For example, if a researcher emails the results of an experiment to a colleague in China, the email is deemed to be an export of the data to China. Note that this is still an export to China even if the colleague is a U.S. national. If the colleague in China is a German national, the email is deemed to be an export to both China and Germany.

Deemed exports can also occur inside the United States. For example, if a researcher verbally discusses research data with a Kenyan grad student, that discussion is deemed to be an export to Kenya, even if the conversation takes place in the researcher’s lab in Springfield.

Because deemed exports involve sharing information and restrictions are based on nationality, they can be especially tricky for universities and university researchers. Fortunately, most information can be freely shared with most people from most countries. As with exports of tangible goods, most deemed exports do not require a license.

Generally, information that has already been published can be distributed freely. Information that cannot be distributed freely (and that likely requires an export license) includes information that is sensitive for national security reasons and proprietary or confidential data. If you have questions about whether you need a license to share data, please contact ora@uis.edu

  • Classified Research: Any research that carries a security classification under U.S. law.
  • Commerce Control List (CCL): A list of Dual-Use Items under the specific jurisdiction of the U.S. Department of Commerce, subject to regulation under the Export Administration Regulations.
  • Deemed Export: The release of technology or software controlled under the Export Administration Regulations or the International Traffic in Arms Regulations to a Foreign Person within the United States.
  • Dual-Use Items: Items controlled under the Export Administration Regulations that can be used both in military and civilian applications.
  • Export Administration Regulations (EAR): Policies and regulations issued by the U.S. Department of Commerce’s Bureau of Industry and Security (BIS), which govern Dual-Use Items.
  • Export: An actual shipment or transmission of items subject to export controls out of the United States.
  • Foreign Person: Any person or entity who does not fall into one of the following categories:
    • U.S. citizens;
    • Lawful permanent residents of the United States (i.e. “green card holder”);
    • Refugees, asylees, and similarly protected individuals as defined by 8 U.S.C. 1324b(a)(3);
    • Entities of the U.S. government, including both state and federal agencies; or
    • Corporations, business associations, and other organizations incorporated or otherwise authorized to do business in the United States.
  • Fundamental Research: Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.
  • Fundamental Research Exclusion (FRE): Policy established under National Security Decision Directive 189, issued in 1985, which states that the products of Fundamental Research are excluded from the export control regulations.
  • International Traffic in Arms Regulations (ITAR): Regulations issued by the U.S. Department of State’s Directorate of Defense Trade Controls (DDTC), which control the export and import of defense articles and defense services.
  • Office of Foreign Assets Control (OFAC): A division of the U.S. Department of Treasury, which administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.
  • Restricted Party Lists: A series of lists published by the U.S. Departments of Commerce, Treasury, and State as well as the General Services Administration, which identify the names of companies and individuals subject to U.S. trade and economic sanctions. These lists include the Denied Persons List, the Unverified List, the Entity List, the Specially Designated Nationals List, the Debarred List, and the Excluded Parties List.
  • Restricted Research: Restricted Research is any research subject to U.S. export controls, including research for which a sponsor limits free access to, participation in, or dissemination of, the work or the results. Restricted Research includes, but is not limited to: 1) unclassified research that a government agency labels “sensitive,” “non-releasable unclassified,” or other similar designation; 2) research for which the sponsor requires a delay in submission of the result for publication in excess of six months from submission of the final report, or requires advance unconditional approval of the manuscript; 3) research under which a student’s right to publish a thesis or dissertation is delayed more than six months, or a student’s right to future use of acquired skills or knowledge is abridged; or 4) research under which a post-doctoral employee’s right to publish a manuscript or other scholarly work is delayed more than six months, or such employee’s right to future use of acquired skills or knowledge is abridged.
  • Technology Control Plan (TCP): An internal written document that provides for the policies and procedures to be used to protect potentially controlled, sensitive, or proprietary information.
  • U.S. Munitions List (USML): A list of articles, technical data, and defense services which are designated as defense- and space-related by the U.S. government and thus subject to the ITAR.

For questions, please contact ORSP at ora@uis.edu

*Thank you to Kathy Gentry, Chyvonne Gibson, and Patricia Pfister for allowing us to use the export control menu from UIC!